Roberta M. Wagner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roberta M Wagner, who also goes by Robbie Jarrett, Roberta Michelle Jarrett, Roberta Jarrett, Roberta Michelle Wagner, Robbie Wagner, Roberta Wagner, was a registered financial professional .
Roberta is a previously registered financial professional and started their career in finance in 2000. Roberta had worked at 7 firms and has passed the Series 65, Series 66, Series 63, Series 57TO, SIE, Series 3, Series 7, Series 55, Series 62, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2022 - September 1, 2026
CITIZENS SECURITIES, INC.
August 2, 2022 - September 1, 2026
CITIZENS SECURITIES, INC.
November 11, 2011 - August 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 13, 2011 - August 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2008 - September 13, 2011
FIDELITY BROKERAGE SERVICES LLC
October 27, 2006 - October 31, 2008
WALL STREET FINANCIAL GROUP, INC.
September 20, 2005 - October 17, 2006
MANNING & NAPIER INVESTOR SERVICES, INC.
January 26, 2005 - August 17, 2005
CITIGROUP GLOBAL MARKETS INC.
January 25, 2000 - June 15, 2004
KNIGHT CAPITAL AMERICAS, L.P.
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/9/2000
Limited Representative-Equity Trader ExamSeries 62
Date: 1/24/2000
Corporate Securities Limited Representative ExaminationCurrent Firm
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
